WESTERN ILLINOIS UNIVERSITY
INSTITUTIONAL REVIEW BOARD
(FWA: 00005865)
1 University Circle, Sherman Hall 320
Macomb, IL 61455
Telephone: 309-298-1191 Fax: 309-298-2091
Email: IRB@wiu.edu
Human Subjects Research - Initial Review Form
Guidelines for completing this research protocol:
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All research protocols must be typed.
Each individual on the research team that needs to be listed on the approval letter must be
listed as an investigator or co-investigator on this form.
If new personnel are added after IRB approval you must notify the IRB by submitting the
WIU Review and Monitoring Form.
All items on the research protocol must be answered (*see the exception for existing data
protocols). If a particular item does not relate to your protocol, indicate “not applicable.”
In order to ensure a timely review, research investigators are encouraged to be clear and
concise, use lay language, and avoid the use of discipline specific language.
Before you submit your research materials check the boxes below to ensure that you have
the following documents prepared for IRB review:
☐Adequate training of research team (i.e., you must submit a copy if OSP does not already
have a copy of your NIH/CITI training certificates on file)
☐Complete IRB protocol
☐Informed consent/assent/parental permission document(s)
☐Research materials (e.g., surveys, interview items, questionnaires for data collection, etc.)
☐Recruitment materials
☐Letter(s) of support
☐Request for Waiver under 45 CFR§46.116 (c) and/or (d), (if applicable)
*Guidelines for completing the IRB protocol and other research materials can be located at:
http://www.wiu.edu/irbform. Be sure to allow 7-10 business days for the Initial Review!
Complete research protocols should be submitted electronically to:
The Office of Sponsored Projects
Attn: Compliance Specialist
irb@wiu.edu
WIU IRB – Initial Review Form | Version 6/17/2014 1
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INSTITUTIONAL REVIEW BOARD
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Section 1. Research Personnel
In the space provided, include all individuals who will interact or intervene with human subjects or their private,
identifiable information. Additional personnel can be added under Section 9. If new members are added to your
research team after IRB approval, the PI must submit the WIU Review and Monitoring Form with the information
below.
Project Title:
Principal Investigator/ Faculty Advisor:
(Cannot be a student investigator.)
Department:
Address:
Telephone Number:
Email Address:
Research with Human Subjects Training:
☐
NIH
☐
CITI – Social and Behavioral Module
☐
NIH
☐
CITI – Social and
Behavioral Module
☐
CITI – Student Class
Projects Module
☐
NIH
☐
CITI – Social and
Behavioral Module
☐
CITI – Student Class
Projects Module
Co-Investigator/Student Investigator:
Department/Non-WIU Affiliation:
Telephone Number:
Email Address:
Research with Human Subjects Training:
Co-Investigator/Student Investigator:
(List additional investigators under section 9.)
Department/Non-WIU Affiliation:
Telephone Number:
Email Address:
Research with Human Subjects Training:
Is another institution engaged in the research? (i.e., an agent of another institution/entity will interact or
intervene with human subjects or their identifiable private information for research purposes, or obtain informed
consent.)
☐ No ☐ Yes
If yes,
list the
institution(s):
Is
another
institution
or review committee reviewing this research proposal? ☐No ☐ Yes
If yes, list the institution(s):
If yes, has approval been obtained: ☐No ☐ Yes
(Submit all documentation from the external committee for IRB review, if applicable.)
Section 2. Funding or Anticipated Funding Source
☐Not Applicable
☐Name of External Funding Agency:
☐Name of Internal Grant Program:
Contract or Grant Title:
Contract or Grant Number:
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Section 3: Participant Population and Recruitment
1. Targeted participant population, select all that apply:
1a. Note: if this research protocol calls for multiple samples, please attach and label a chart that describes each sample
specifically.
Age:
☐ Adults (>/= 18 years old)
☐ Minors (< 18 years old)
☐ Specific age range:
Gender:
☐ No targeted gender population (i.e., both males and females will be recruited)
☐Male
☐ Female
☐ Other (e.g., Transgender):
Race:
☐ No targeted race population (i.e., a variety of races will be recruited)
☐ African-American/Black ☐ American Indian or Alaska Native ☐ Asian ☐ Hispanic/Latino ☐ Indian (India) ☐
Middle Eastern ☐ Native-American ☐ Non-Hispanic White
☐ Other:
Sexual orientation:
☐ No targeted sexual orientation population
☐ Heterosexual
☐ Sexual minority (e.g., homosexual, bisexual), specify:
College students:
☐ No targeted college population
☐ WIU general student body
☐ Targeted WIU student population (provide the instructor or course information, name of the departmental subject
pool, or specific characteristics):
☐ Students at institution(s) other than WIU, specify:
Other:
☐ Illiterate
☐ Inpatient participants
☐ Institutionalized participants
☐ Low income or economically disadvantaged persons
☐ Non-English speaking
☐ Mentally/Emotionally/Developmentally Disabled or impaired decision making capacity
☐ Outpatient participants
☐ Physically impaired
☐ Pregnant women
☐ Prisoners
☐ Other:
2. Describe participant characteristics not included above, if applicable: (☐ Not applicable)
3. For each group of participants,
a. Describe inclusion criteria (if children, prisoners or other vulnerable participants will be recruited,
explain why their inclusion is necessary):
b.
Describe exclusion criteria:
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4. For each group of participants,
a. Provide an estimated population size:
b. Provide an estimated sample size:
5. If participants are selected from records, (☐ Not applicable)
a. Provide the name of the individual who has given the research team permission to use the records:
b. Are the records private student or medical records? ☐ Yes ☐ No
(Include the appropriate documentation to obtain these records, e.g., consent forms, FERPA/HIPAA release form,
etc.)
6. Recruitment procedures, select all that apply:
☐ Student subject pool
☐ E-mail distribution via: ☐ TeleSTARS ☐ Personal email account ☐ Survey software tool (e.g.,
SurveyMonkey,Qualtrics, etc.), specify:
☐ U.S. mail
☐ Handout/flyer
☐ Web site ad
☐ Newspaper ad
☐ Verbal announcement
☐ Other, specify:
(Submit all recruitment materials, written materials as well as a sample of verbal recruitment announcements, for
IRB review and approval, if applicable.)
7. For each group of participants, describe the details of the recruitment process (e.g., how are you obtaining
email/mailing addresses, where are you distributing flyers, describe snowball sampling, etc.).
8. Describe how permission has been or will be obtained from outside institutions or entities to recruit,
conduct research, or access records at their site. (☐ Not applicable)
(Append letters of support from outside entities, if applicable.)
9. What, if any, relationship exists between the researcher(s) and participants involved in the research or
records? (☐ Not applicable)
10. Describe any compensation, monetary inducements, or reimbursement for participation (e.g., if
participants are paid or offered extra credit, include the amount, how and when it will be coordinated).
(☐ Not applicable)
Section 4. Informed Consent Procedures
1. Will participants sign a written consent/assent/parental permission document? Check Yes/No below.
(For an explanation of the elements of informed consent and documenting it, please see: http://www.wiu.edu/consent).
☐ Yes
If yes,
a. By whom will written consent be obtained (e.g., PI, student researcher, etc.):
b. Describe the method that will be used to obtain voluntary informed consent/assent/parental
permission (e.g., consent letter/form, script for phone interview, etc.) and in what setting will it be
obtained (e.g., in-person, by phone, in a classroom, in the workplace).
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c. For assent/parental permission procedures, describe how you will ensure that only minors with
parental permission forms will be included in the research. If applicable, describe how you will
match or align minor assent forms with parental permission forms. ☐ Not applicable
d. Will participants receive a copy for their records? ☐ Yes ☐ No, explain:
☐ No
(Submit all informed consent documents for IRB review and approval.)
If no,
a. Will participants be asked to complete an online survey in which the research team will present
them with a written statement including all of the required elements of consent and will they be
asked to complete the survey, thereby ensuring their voluntary participation in the research?
☐ Yes (skip to part d. below) ☐ No
b.
If participants will not sign a written consent/assent/parental permission document or be
presented with a written statement, you must request a waiver of written documentation
of consent using the “ Waiver of Consent” template found here:
http://www.wiu.edu/sponsored_projects/compliance/waiver_doc_consent.php
c. If participants will not sign a written consent/assent/parental permission document, will they
receive an information sheet that provides them with what they need to know before deciding to
participate? ☐ Yes ☐ No, explain:
d. Will participants receive a copy for their records? ☐ Yes ☐ No, explain:
(Submit all information sheets for IRB review and approval, if applicable.)
2. If potential participants or their legally authorized representatives are non-English speaking, please
explain how the investigator will identify these participants and ensure their ability to understand
information about the study to provide consent. ☐ Not applicable
3. Indicate factors that might interfere or influence consent procedures:
☐ No known factors.
☐ Research will involve enrolled students in a course/program taught by a member of the research team.
☐ Participants are employees whose supervisor(s) is/are recruiting/requiring participation.
☐ Participants have a close relationship to research team.
☐ Other, specify any relationship that exists between the research team and the participants:
a. Describe the procedures to mitigate the above factors: ☐ Not applicable
Section 5. Study Description
1. Provide a brief description of the purpose of the proposed research project, including research questions or
hypotheses, and any relevant background information. Use language understood by a person unfamiliar with
your area of research.
2. Type of research, select all that apply:
☐ Faculty/independent research
☐ Student research
☐ Class project – course:
☐ Honor’s thesis or project/Master’s thesis/Dissertation
☐ Research conducted in established or commonly accepted educational settings, involving normal educational
practices (e.g., effectiveness of or the comparison among instruction techniques, curricula, or classroom
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management methods).
☐ Other, specify:
3. Do you plan to publish, present, or archive your results? ☐ Yes ☐ No ☐ Uncertain
4. Provide an estimated data collection period:
(This timeframe must begin after the IRB approval date.)
Section 6. Study Procedures
1. Select all research methods that apply:
☐ Paper surveys/questionnaires
☐ Online surveys/questionnaires, specify which survey software tool:
☐ Telephone surveys/questionnaires
☐ Standardized written/oral/visual tests
☐ Intervention (e.g., experimental manipulation)
☐ Interviews
☐ Focus groups
☐ Oral history
☐ Field work: ☐ public observation ☐ classroom observation ☐ work site observation ☐ Other:
☐ Ethnography: ☐ participant ☐ observer ☐ participant-observer
☐ Voice, video, digital or image recordings made for research purposes
☐ Moderate exercise and muscular strength
☐ Materials (i.e., archived data, documents, records, or biological specimens) that have been collected or will be
collected for non-research purposes.
☐ Materials (i.e., archived data, documents, records, or biological specimens) that have already been collected or
that which currently exists.
Provide the source of the existing or archived data:
☐ Collection or study of materials (i.e., archived data, documents, records, or biological specimens) that are
publicly available or if the information is recorded so that participants cannot be identified, directly or indirectly
through identifiers
☐ Materials (i.e., archived data, documents, records, or biological specimens) that have been collected for another
research project
☐ Other, specify:
2. List and briefly describe the testing instruments, surveys, interview items, and/or additional research
materials which will be used in the research (instruments included in this item must be labeled and submitted for
review):
☐ Not applicable
(Submit all materials for IRB review and approval, if applicable. The titles or labels you use in this item must match your
submitted materials. Do not submit copyrighted or print restricted materials. In the space above provide a description and
indicate that there are copyright and/or print restrictions.)
3. Describe the research methods (i.e., the methods selected in Item 1), procedures to be used, and the tasks
participants will be asked to complete (i.e., the materials described in Item 2):
(Your procedures should be presented in sequence and include details of any equipment or interventions to be used; clearly
distinguish between activities that are research and activities that would occur regardless of whether the research was being
conducted; describe what non-participants will do during this period, e.g., activities and supervision.)
4. Describe any other data or data collection tools not included in item 1, 2, or 3 above (e.g., items included on
the demographic sheet, data collection sheet, collection of unique identifiers or IP addresses):
☐ Not applicable
(Submit all materials for IRB review and approval, if applicable.)
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5. Location of research, select all that apply:
☐ Western Illinois University Macomb Campus, specify the general characteristics of the location (e.g., reserved
classroom, open computer lab, University Union or Library, etc.) or if available the specific location (e.g., building
and/or room number):
☐ Western Illinois University Quad Cities Campus, specify the general characteristics of the location (e.g., reserved
classroom, open computer lab, etc.) or if available the specific location (e.g., building and/or room number):
☐ Off campus location(s), specify:
☐ Internet research
☐ Other, specify:
6. Describe the duration (how long will the participants be involved?) and frequency of procedures (how many
times will the participants be asked to engage in the research activities?):
7. If your study does not involve any of the procedures below skip to question 8. Otherwise, select all data
collection activities that apply:
☐ Blood samples by finger stick, heel stick, ear stick or venipuncture.
a. Indicate the type of participants:
☐ Healthy, non-pregnant adults who weigh at least 110 pounds
☐ Other adults or minors, describe:
b. How many times per week will blood be drawn?
c. How much blood will be drawn at one-time?
d. How much blood will be drawn in an 8-week period?
e. How often will collection occur?
f. Include blood borne pathogen training and procedures to dispose of needles:
☐ Noninvasive procedures to collect biological specimens for research purposes
☐ Sterile surgical/invasive procedures
☐ Banking of biological materials
☐ Noninvasive procedures to collect data such as use of physical sensors applied to the surface of the body and
electrocardiography
☐ Procedures involving x-rays
☐ Ingestion of wholesome foods without additives
☐ Ingestion/application of substances other than wholesome foods without additives
☐ Clinical study of a drug/medical device
☐ Obtaining medical data from a health care provider, health plan or health care clearinghouse
☐ Genetic testing
☐ Other, specify:
8. Is this research FDA-regulated (i.e., It is an experiment that involves one or more of the following test
articles: foods/dietary supplements that bear a nutrient content/health claim, infant formulas, food/color additives,
drugs/medical devices/biological products for human use)?
☐ Not applicable
☐ No ☐ Yes
If yes, explain:
9. Will medical clearance be necessary for participants to be included in your research (e.g., high risk physical
exercise or conditioning, tissue or blood sampling, administration of substances such as food or drugs, etc.)?
☐ No ☐ Yes
If yes, explain how the clearance will be obtained:
10. Describe your debriefing procedures (e.g., how and when will participants be debriefed about the research):
(Be sure to attach your debriefing script.)
*Deception (be sure to download and complete the Waiver of Consent - 45 CFR§46.116 portion of the
“Waiver of Consent Template located at http://www.wiu.edu/sponsored_projects/compliance/waiver_doc_consent.php)
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Section 7. Data Privacy and Security
1. How are participant data, records, or specimens identified when they are made available or collected by
your research team?
☐ No identifiers (e.g., neither the researcher nor the source providing the data can identify a participant based upon
information provided with the data). Skip to Item 2.
☐ Direct identifiers (e.g., participant name, SSN, date of birth, email, street address, medical record number, or any
other identifying variables listed under Section 6. Study Procedures, item 4).
a. Authorized personnel who will have access to identifiable information includes:
☐ Indirect identifiers (e.g., an assigned code or pseudonym used to track participants)
a. Does the research team have access to the code which links the data to the participants’ identities?
☐ No ☐ Yes
b. Authorized personnel who will have access to identifiable information includes:
2. How will the data, records, or specimens labeled when published or shared? (Note: Sharing includes
releasing, transmitting and providing access to any individual or entity outside of the research team). Check all that
apply:
☐ Data will be anonymized or de-identified (i.e., the participants’ identity was once associated with the data but
identifying information will be destroyed/removed before it is shared). Indicate who is destroying the identifiers,
when, and how:
☐ Coded and linked data (data is coded. With the code, the data may be linked back to identifiers, but the link back
to identifiers will not be shared.).
☐ Identifiable data (e.g., participant name, SSN, date of birth, email, street address, medical record number, or any
other identifying variables listed under Section 6. Study Procedures, item 4).
___ Data will be shared in the aggregate only.
3. Safeguarding and Storage of Research Materials, check all that apply and elaborate when necessary:
☐ Data is not linked to identifying information.
☐ Consent/assent/parental permission forms will be stored in a separate location from data.
☐ Participant codes/ID numbers or pseudonyms will be used on all data and if there is a key linking the codes with
the identifiable information it will be stored separate from the data.
☐ All research materials will be maintained for a minimum period of three years in the following secure location on
the WIU campus (i.e., you must provide a building and room number):
☐ Data will be kept on a password protected computer in the following secure location (e.g., your response may
include a building and room number or a specific owner/user of the equipment):
☐ PDA’s and removable media will be kept secure. Explain (e.g., password protected, encrypted, limited access,
etc.):
☐ Research data or materials transmitted or maintained in electronic format will be kept secure. Explain (e.g.,
encrypted when transferring or storing):
☐ Provide additional information for any other technology or medium used to store and/or transmit information not
addressed above which may apply to your specific research:
Section 8. Risk-Benefit Analysis
1. Do the data or records to be collected relate to any illegal activities (e.g., immigration status, drug use, abuse,
assault)?
☐ No ☐ Yes
If yes, explain:
2. Will participants be asked to provide information or records that may be harmful to their reputation or
employability, or to the company/entity that they are representing?
☐ No ☐ Yes
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If yes, explain how you will mitigate this harm:
3. Will information or records be requested that participants might consider to be personal or sensitive?
☐ No ☐ Yes
If yes, explain:
4. Will the participants be presented with materials that might be considered to be offensive?
☐ No ☐ Yes
If yes, explain:
5. Please answer both a. and b. below:
a. Identify any foreseeable stress or psychological, social, physical, criminal or legal risks for
participants:
b. Will the participants encounter the possibility of stress or psychological, social, physical, criminal or
legal risks that are greater than those ordinarily encountered in daily life or during the performance
of routine physical or psychological examinations or tests?
☐ No ☐ Yes
If yes, provide justification for the use of greater than minimal risk procedures:
6. Will the participants be deceived or misled in any way?
☐ No ☐ Yes
If yes, explain:
(If yes, you must complete Section 6. Item 10.)
7. Describe specific measures used to minimize or protect participants from anticipated risks:
8. Describe any expected benefits for research participants or society as a whole:
9. If your research involves an invasive or high risk procedure, cite your experience with this kind of research
and/or this population. List any co-investigators who will be working with you and cite their experience, if
applicable.
☐ Not applicable
Section 9. Miscellaneous
1. Include all other research personnel working with human subjects or their private, identifiable data not
listed on page 1 (Information needed: Name, Affiliation, Telephone Number, Email Address, Research Training):
☐ Not applicable
2. Special considerations not otherwise included above: ☐ Not applicable
Section 10. Assurance and Submission
Your submission certifies that as a part of the research personnel you understand and accept the following obligations
to protect the rights and welfare of research subjects in this research:
COMPLIANCE WITH FEDERAL AND UNIVERSITY REGULATIONS AND STANDARDS
 I recognize that as a member of the research team, it is my responsibility to ensure that this research and the actions
of all research personnel involved in conducting the study will conform with the IRB approved protocol, IRB
policies, and all applicable federal regulations including but not limited to HHS, FERPA, PPRA, and/or HIPAA
regulations.
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I understand that failure to comply with all applicable HHS, FERPA, PPRA, and/or HIPAA regulations, IRB
policies and procedures, and the provisions of the protocol as approved by the IRB may result in suspension or
termination of my research project, notification of appropriate governmental agencies by the IRB, and/or
suspension of my freedom to present or publish results.
IRB APPROVAL OF ALL PROTOCOLS
 I will not initiate any change in protocol without IRB approval except when it is necessary to reduce or eliminate a
risk to the subject in which case the IRB will be notified as soon as possible.
 I understand that IRB approval is valid for no more than one year with continuing review by the IRB required at
least annually in order to maintain approval status. I will not enter subjects in the study before IRB approval or if
IRB approval expires. In the latter case, I will immediately contact the IRB to obtain permission to continue
subjects in the research study.
 I recognize that it is my responsibility to ensure that the study has been reviewed for scientific merit and ethical
content.
 I recognize that it is my responsibility to ensure that there is constant open dialogue between myself and the other
research personnel to ensure that the research is conducted correctly, and the safety and protection of the subjects
are ensured.
 I recognize that it is my responsibility to ensure that valid informed consent/assent/parental permission has been
obtained from all research subjects or their legally authorized representatives. I will ensure that all project
personnel involved in the process of consent are trained properly and are fully aware of their responsibilities
relative to the obtainment of informed consent according to the IRB guidelines and applicable federal regulations.
I will use only the currently approved, informed consent form or script for recruiting subjects.
 I understand that I am part of the collaborative effort to maintain the integrity of the human subjects’ research
approval process and procedures to ensure continuous quality improvement and academic excellence at WIU.
COMMUNICATION WITH THE IRB
 I will promptly inform the IRB of any event that requires reporting in accordance with IRB policies and procedures
on unanticipated events involving risks to subjects or others and adverse events (serious and/or unexpected).
 I will inform the IRB immediately of any significant negative change in the risk/benefit relationship of the research
as originally presented in the protocol and approved by the IRB.
 I will inform the IRB immediately if I become aware of any violations of HHS regulations (45 CFR 46), FERPA
regulations (34 CFR 99), PPRA regulations (34 CFR 98), HIPAA regulations (45 CFR 164.530), or IRB policies
and procedures for the protection of human subjects.
IRB MONITORING OF STUDIES
 I will maintain all required research records and recognize that the IRB and federal government is authorized to
inspect these records.
 I understand that, per OHRP/FDA guidelines, the IRB will be monitoring adherence to approved research
protocols. The oversight process does not end with approval of a research protocol.
PRINCIPAL INVESTIGATOR/FACULTY ADVISOR ASSURANCE
 I certify, as a faculty sponsor, that the student investigator is knowledgeable about the IRB policies and applicable
federal regulations governing research with human subjects and has sufficient training and experience to conduct
this study in accord with the approved protocol. In addition, I will meet with the student investigator on a regular
basis to monitor study progress. Should problems arise I agree to be available personally to supervise the student
investigator in solving them. If I will be away, I will arrange for an alternate faculty sponsor to assume my
responsibilities.
 By submitting this request to irb@wiu.edu from my WIU email address, the Principal Investigator (and
responsible faculty member if this is a student research project) accepts responsibility for ensuring that all
members of the research team: 1) complete the required training to fulfill their study responsibilities, 2) follow the
study procedures as described in the IRB approved protocol and comply with Western Illinois University’s Policy
and Procedure for Human Subjects and all IRB communication and 3) uphold the rights and welfare of all study
participants.
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